Georgia Mason

Business Quality File Reviewer Overview   To act as quality control for advice through file checking, to ensure that advice meets business and regulatory requirements. Assist with the management of business issues and complaint investigations to resolution. Key Responsibilities: Review pre-and-post advice files in line with the firms’ T&C schemeProvide technical and regulatory support to advise teams where appropriate.Maintain awareness of the regulatory environment which may have an impact on the business.Comply with compliance procedures, including TCF, Data Protection and FCA Regulations at all times.Complete file checking feedback documentsEnsure file checking data is collated and kept up to dateExperience & Qualifications:Level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)-  (approaching DipPFS may be considered)Working knowledge of FCA Principles and Rules.Good understanding of the Financial Planning process.Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry

Senior Regulatory Advice Manager Location: office in Cardiff - Flexible workingAn exciting opportunity for an experienced Regulatory Compliance professional to join a leading general insurer and lead a high-performing team within Customer & Conduct. This role is ideal for a regulatory expert who thrives on providing clear, practical advice and driving compliance excellence across business operations and change initiatives.  ResponsibilitiesLead the delivery of proactive, high-quality regulatory advice across day-to-day activities, products, and strategic projects.Develop and maintain frameworks that ensure compliance with FCA requirements and internal standards.Provide expert guidance on the Senior Managers and Certification Regime (SMCR), supporting senior leaders in meeting their responsibilities.Analyse regulatory developments and guide the business through effective implementation.Lead, coach, and develop a skilled regulatory advice team.RequirementsDeep understanding of FCA regulations and associated guidance.Proven experience in the General Insurance sector.Strong knowledge of the UK regulatory landscape and FCA priorities.Excellent communication and influencing skills with senior stakeholders and regulators.Experienced team leader with strong analytical and problem-solving abilities.Skilled in risk management, with high attention to detail and sound judgment.

Senior Regulatory Advice Manager Location: Cardiff - Hybrid An exciting opportunity for an experienced Regulatory Compliance professional to join a leading general insurer and lead a high-performing team within Customer & Conduct. This role is ideal for a regulatory expert who thrives on providing clear, practical advice and driving compliance excellence across business operations and change initiatives.  ResponsibilitiesLead the delivery of proactive, high-quality regulatory advice across day-to-day activities, products, and strategic projects.Develop and maintain frameworks that ensure compliance with FCA requirements and internal standards.Provide expert guidance on the Senior Managers and Certification Regime (SMCR), supporting senior leaders in meeting their responsibilities.Analyse regulatory developments and guide the business through effective implementation.Lead, coach, and develop a skilled regulatory advice team.RequirementsDeep understanding of FCA regulations and associated guidance.Proven experience in the General Insurance sector.Strong knowledge of the UK regulatory landscape and FCA priorities.Excellent communication and influencing skills with senior stakeholders and regulators.Experienced team leader with strong analytical and problem-solving abilities.Skilled in risk management, with high attention to detail and sound judgment.

Senior Compliance Manager Location: London (Hybrid, 3 days per week)Join a small, dynamic compliance team in an investment management business. This broad generalist role covers advisory, monitoring, and oversight, with one direct report and the opportunity to deputise for the Head of Compliance. ResponsibilitiesAdvise the business on compliance matters.Lead and enhance the compliance monitoring programme.Track and implement regulatory developments.Draft and maintain policies and procedures.Deliver compliance training and oversee one direct report.Support audits, committees, and client reviews.RequirementsStrong knowledge of MiFID II, COLL, CASS, AML, SMCR, MAR, and UCITS.Experience in compliance monitoring and regulatory change.Excellent communication, organisation, and stakeholder skills.

Compliance Advice Manager Location: Cardiff (Hybrid)An exciting opportunity for an experienced Compliance Advice Manager to join a leading UK insurance business. You’ll provide expert regulatory guidance across key projects, ensuring compliance with FCA requirements and supporting the delivery of good customer outcomes. Key Responsibilities:Provide clear, practical advice on FCA rules and regulatory developments.Support Consumer Duty implementation and new product launches.Oversee conduct and regulatory risks across business initiatives.Advise on regulatory change projects and ensure timely compliance.Build strong stakeholder relationships and influence senior decision-makers.Lead complex reviews and mentor junior team members.Requirements:3–5 years’ compliance advisory experience, ideally in General Insurance.Strong knowledge of the FCA regulatory framework.Proven experience with Consumer Duty and product launch compliance.

Business Quality File Reviewer Overview   To act as quality control for advice through file checking, to ensure that advice meets business and regulatory requirements. Assist with the management of business issues and complaint investigations to resolution. Key Responsibilities: Review pre-and-post advice files in line with the firms’ T&C schemeProvide technical and regulatory support to advise teams where appropriate.Maintain awareness of the regulatory environment which may have an impact on the business.Comply with compliance procedures, including TCF, Data Protection and FCA Regulations at all times.Complete file checking feedback documentsEnsure file checking data is collated and kept up to dateExperience & Qualifications:Level 4 Diploma in Regulated Financial Planning (DipPFS or DipFA)-  (approaching DipPFS may be considered)Working knowledge of FCA Principles and Rules.Good understanding of the Financial Planning process.Previous experience in a similar role within the IFA/ Wealth and Financial Planning industry

Job Title: Group AFC – Sanctions Manager (12-month FTC) Location: Edinburgh (Hybrid)A leading multinational investment management firm is hiring a Sanctions Manager to join its Group Anti-Financial Crime team on a 12-month fixed-term contract. Operating across the UK, US, and EU, the firm requires a specialist to interpret evolving international sanctions regulations, maintain and enhance the Group Sanctions Policy, and deliver clear, pragmatic advice to stakeholders at all levels of the business.ResponsibilitiesAct as a SME on sanctions, staying up to date with global developments.Manage and implement the Group Sanctions Policy, ensuring compliance across jurisdictions.Provide advice on regulatory, client, and contractual requirements, including reviewing legal agreements.Maintain training and awareness content; oversee breaches/errors and remedial actions.Support stakeholder engagement across policy, advisory, and operations teams.RequirementsEssential:Several years’ Anti-Financial Crime experience within financial services (Investment or Asset Management).Strong knowledge of sanctions and the wider regulatory environment.Proven ability to interpret complex legislation and apply it in practice.Experience reviewing and advising on contracts.Desirable:Broader AFC knowledge (AML, CTF, ABC, etc.).Open Legal background or experience in financial crime enforcement/sanctions advisory.

Risk and Compliance Manager – Investment Management & WealthLocation: London (Hybrid working available)Join a fast-growing Risk & Compliance Advisory team at a big 4 global consultancy. You'll work at the forefront of the Investment Management & Wealth sector, supporting major clients as they navigate regulatory change, operational risk, and compliance challenges. This is a unique opportunity to help shape industry-leading solutions while developing your own career in a flexible, collaborative environment. Key Responsibilities:Advise clients on risk and regulatory matters across the sector.Analyse upcoming regulatory developments and assess impact on clients.Design and implement effective risk and control frameworks.Contribute to thought leadership, market propositions, and industry forums.Support business development and help grow the practice.Requirements:Proven experience in risk, compliance, or regulatory advisory within Investment Management or Wealth/ Platform (consulting, in-house, or regulatory).Strong understanding of UK and/or EU financial regulations relevant to investment firms, fund managers, or wealth managers.Practical experience designing and implementing risk frameworks.Excellent communication and stakeholder management skills.Entrepreneurial mindset with a focus on delivering quality and creating value.